Broker-Dealers Articles

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IMCA Focusing On FAs For Growth

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IMCA is looking to independent advisors for growth while the association's traditional base -- wirehouse and regional broker-dealers -- declines.

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Independent Broker-Dealers Increased ETF Assets In Third Quarter

by FA Staff

Independent b-ds were the only financial advisory businesses to increase mutual fund and ETF assets under management in the third quarter despite the market downturn, says Broadridge Financial.

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LPL Financial Shares Hurt On Uncertain Regulatory Outlook

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An early warning from LPL that unexpectedly high regulatory costs would hurt third-quarter earnings failed to placate investors on Thursday, as shares tumbled after the brokerage firm reported actual...

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Ex-UBS Broker Wins And Loses In Split U.S. Arbitration Ruling

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In a rare move, a securities arbitration panel sided with a broker who alleged UBS AG had hurt his business model and team, although the broker also has to return bonus money.

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Raymond James Reports Profits Rise, Slower Than Prior Quarter

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Raymond James Financial Inc. said on Wednesday its revenues climbed to a record high $1...

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UBS Wealth Americas Brokers Hit Revenue Record

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The 7,114 brokers at the company generated record quarterly revenue in the three months ending Sept...

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Advisors Risk Losing Lots Of Assets

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Pershing asks advisors these questions: What is your mission statement? And how will you connect with the next generation of advisory clients?

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Merrill Lynch Fined $6 Million For Short-Selling Violations

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Finra has fined Merrill Lynch for allowing short-sellers to dump stocks without making sure they had first arranged to borrow the shares.

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Finra, States Mull New System To Clean Up Brokers' Records

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Finra and Nasaa have been engaged in preliminary discussions about whether to revamp the process that most brokers use for requesting "expungements."

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UBS Tells Brokers To Keep Selling Risky Puerto Rico Funds

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UBS is sticking with its recommendations that some clients buy risky Puerto Rico closed-end bond funds, despite hundreds of arbitration claims by investors, says an internal document.

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